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Showing 121 to 130 of 2102 search results for Final Notice refers to breaches.
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Final Notice 2017: Andrew Maher [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2017: James Pollock [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2017: Glen Eagleson [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2017: Jake Vickers [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2017: Steven Brady [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2023: Geoffrey Edward Armin [pdf]
This Final Notice refers to breaches of Statements of Principle 2 and 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £200,000 is being made to -
FCA Final Notice 2014: State Street [pdf]
This final notice refers to breaches of PRIN 6 and PRIN 7 related to wholesale conduct, unfair treatment of customers in the investment banks sector. We imposed a fine. -
Final Notice 2015: LAFM Limited (formerly known as Lloyd Anderson Financial Management Limited) [pdf]
This final notice refers to breaches of Principle 11, related to threshold conditions in the consumer credit sector. We imposed a cancellation. -
Final Notice 2015: Lee Bruce Stewart [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the trading firms sector. We imposed a prohibition. -
Final Notice: Kathryn Clark [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition and withdrawal.